Examinations Enforcement: Settlement

All self-reporting of violations to the SEC aren't equal (IA Watch, April 2, 2012). Consider the cases of principals at RH Financial Group ($138M in ...

This is an example of a deferred prosecution agreement entered into with the SEC.

This pair failed to investigate numerous serious red flags indicating misconduct by a colleague, according to the SEC.

Some people just can't take a hint. Even when the SEC told Terry Deru, CCO at Belsen Getty ($64M in AUM) in Salt Lake City, ...

A federal judge last week "reluctantly" signed off on the SEC's civil settlement against hedge fund managers Ralph Cioffi and Matthew Tannin. Some believe the ...

You may need to add another regulator to your radar screen after the Treasury Department's Office of Foreign Assets Control (OFAC) settled last month with ...

Several unusual aspects fill the short selling case filed last week against the broker-dealer optionsXpress, not the least of which is that the firm's two ...

Compliance staff at Goldman Sachs did some good things but also erred in overseeing weekly "huddles" consisting of research analysts sharing their trading opinions with ...

SEC examiners first spotted the issue and last week the enforcement staff settled a case for $300,000 against an RIA that failed to follow written ...

You may wish to redouble your efforts to correct serious deficiencies found in your last SEC exam after last week's announced enforcement actions from the ...